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Vol 21 No 10 Oct/Nov 2016

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A Practitioner's Guide to The FSA Regulation of Designated Investment Business 3rd Ed

Edited by: Tim Cornick

ISBN13: 9781905121267
Published: March 2008
Publisher: Sweet & Maxwell Ltd
Country of Publication: UK
Format: Paperback
Price: £155.00



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A Practitioner’s Guide to The FSA Regulation of Designated Investment Business deals with the specific issues that are relevant to regulated firms on a daily basis. It analyses the investments that are regulated, considers the impact of the Conduct of Business Rules and looks at the Client Asset regime and related rules as well as the special cases of trustee firms, occupational pension schemes and collective investment schemes.

This third edition takes into account all the changes affecting designated investment business since the last edition was published – and most significantly the impact of MiFID, which was implemented in November 2007.

MiFID has had wide ranging implications for the scope of regulated activities, and will have significant impact on conduct of business, best execution, and financial promotion. Furthermore the implementation of UCITS III, and developments in the regulation of derivatives, mortgages, SIPPs and other types of product, have all been taken into account in this substantially revised edition.

Subjects:
Banking and Finance
Contents:
Chapter 1: The Principal Provisions
Tim Cornick,
Chapter 2: Specified Investments
Michael Wainwright,
Chapter 3: Regulated Activities
Michael Wainwright,
Chapter 4: Further Orders
Daniel Tunkel,
Chapter 5: Source, Scope and General Application of Conduct of Business Rules
Arun Srivastava and Sandra Zivcic,
Chapter 6: Getting New Customers
Arun Srivastava,
Chapter 7: Servicing Customers
James Perry,
Chapter 8: The Client Asset Regime
Dick Frase,
Chapter 9: Special Cases
Kirstene Baillie,;